UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Option To Buy (1) | 06/19/2014(2) | 06/19/2020(2) | Common | 2,500 | $ 17.67 | D | Â |
Option To Buy (1) | 09/25/2014(2) | 09/25/2020(2) | Common | 2,000 | $ 19.91 | D | Â |
Restricted Stock Units (1) | Â (3) | Â (3) | Common | 667 | $ 0 | D | Â |
Restricted Stock Units (1) | Â (4) | Â (4) | Common | 7,000 | $ 0 | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Trolaro Kevin Michael C/O ASCENA RETAIL GROUP, INC. 933 MACARTHUR BOULEVARD MAHWAH, NJ 07430 |
 |  |  Interim CFO |  |
Mary Beth Riley, Attorney-in-Fact | 09/02/2014 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Granted under the Company's 2010 Incentive Stock Plan. |
(2) | Exercisable in four equal annual installments with the first installment on the date indicated. |
(3) | On Septemnber 25, 2013, the reporting person was granted 667 restricted share units, vesting in four equal annual installments beginning on the first anniversary of the grant date. |
(4) | On July 23, 2014, the reporting person was granted 7,000 restricted share units, vesting in two equal installments beginning on November 30, 2015. |